Senior Distribution Compliance Surveillance Officer

Position Overview

Become a vital member of a forward-thinking team focused on improving operational productivity and maintaining compliance with regulatory standards. This position provides a chance to participate in trend analysis and enhance business practices within the financial services sector.

Key Responsibilities

• Perform agency assessments to evaluate trends and pinpoint potential weaknesses. Identify areas for enhancement and implement improved frameworks designed for the organization. Support daily operations and assist with team activities. Organize and deliver training sessions for team members on sales advisory processes and point-of-sales systems. Oversee competency standards for supervisors and representatives to ensure adherence to industry regulations. Conduct timely evaluations and follow-ups on cases flagged by the approved monitoring system and other sources. Aid in the creation and execution of communication strategies related to competency standards. Mentor and coach representatives and supervisors on sales activities, quality management, and training requirements. Execute trend analysis to uncover potential risks in sales advisory and market conduct. Revise standard operating procedures (SOPs) and internal guidelines as required. Address queries and concerns from various internal and external stakeholders. Contribute to special projects and initiatives to align with business objectives. Identify and highlight potential risks, sharing best practices for effective risk management.

Qualifications

• A bachelor’s degree or higher in a relevant discipline (e.g., Banking, Business, Finance, Accounting). A minimum of 2-3 years of experience in the financial services or insurance sector. CMFAS certifications (M5, M9, M9A, and HI) are advantageous. Proficient in Microsoft Office Suite (Excel, Word, Outlook, and PowerPoint). Knowledge of data mining and analysis methods (such as data extraction, cleansing, trend analysis, pattern recognition, and dashboard reporting) is a plus. Excellent interpersonal and verbal/written communication abilities. Capacity to influence and manage diverse stakeholder groups. Proficient in handling challenging situations and discussions. Detail-oriented, professional, and able to work independently as well as collaboratively. A positive attitude, self-motivated, and proactive in supporting the team. Strong analytical capabilities with the ability to make informed decisions. High integrity and accountability in work, with a robust commitment to teamwork and flexibility. Initiative to enhance existing processes and an openness to adopting new changes.